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The weekly news source for investment management legal and compliance professionals

News May 1, 2017 Issue

Portfolio Manager Charged with Stealing Dollars in Matched-Trades Scheme

Chief compliance officers know that high among the advisory firm employees they need to monitor are portfolio managers. After all, they sit at the nexus of the trading action. The SEC, in an April 24 complaint filed against a Massachusetts-based portfolio manager, makes clear just how serious the dangers are.

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